FINRA Rules definition

FINRA Rules means the Constitution, By-Laws, and Rules of Fair Practice of the Financial Industry Regulatory Authority, Inc. ("FINRA") and any interpretations thereof.

FINRA Rules means the Conduct Rules and the By-Laws of the Financial Industry Regulatory Authority.

FINRA Rules means the rules adopted by FINRA or its predecessor, the National Association of Securities Dealers, Inc., and approved by the SEC, as in effect at any given time.

Examples of FINRA Rules in a sentence

• The Placement Agent reserves the right to reduce any item of compensation or adjust the terms thereof as specified herein in the event that a determination shall be made by FINRA to the effect that the Placement Agent’s aggregate compensation is in excess of FINRA Rules or that the terms thereof require adjustment.

• The Placement Agent reserves the right to reduce any item of its compensation or adjust the terms thereof as specified herein in the event at a determination shall be made by FINRA to the effect that such Placement Agent’s aggregate compensation is in excess of FINRA Rules or that the terms thereof require adjustment.

• Dealer agrees that this Agreement is in all respects subject to FINRA Rules and such Rules shall control any provision to the contrary in this Agreement.

• The Placement Agent reserves the right to reduce any item of compensation or adjust the terms thereof as specified herein in the event that a determination is made by FINRA to the effect that the Placement Agent’s aggregate compensation is in excess of that permitted by FINRA Rules or that the terms thereof require adjustment.

More Definitions of FINRA Rules

FINRA Rules means the rules set forth in the FINRA Manual.

FINRA Rules shall have the meaning assigned thereto in Section 3(d)(xiv) hereof.

FINRA Rules means the rules of FINRA or any successor body, as amended from time to time.

FINRA Rules means the rules of FINRA, including Rules 5130 and 5131, as the same may from time to time be amended;

FINRA Rules means (i) all applicable laws (including intellectual property, communications, and securities laws), statutes and regulations, orders, decisions, interpretations, opinions, and other requirements whether promulgated by the United States or any other applicable jurisdiction; (ii) the rules, interpretations, opinions, orders, regulations or other requirements of the SEC; (iii) the rules, disciplinary decisions, rule interpretations and regulations of FINRA or any other self-regulatory organization with jurisdiction over the Participant, including those requirements established by FINRA’s rule filings (with such SEC approval as may be required); (iv) any FINRA operating procedures, specifications, requirements and other documentation that is regulatory or technical in nature (including, but not limited to, user guides or other guidelines) published on XXXXX.xxx website or any other FINRA website accessible by and made known to Participant; (v) obligations of Participant contained in any other agreements which are required in order for Participant to access or receive the Service; and (vi) all successors of the components of FINRA Rules, as they may exist at the time.

FINRA Rules means the Rulebook of the Financial Industry Regulatory Authority, Inc.

FINRA Rules means the rules of FINRA, as amended from time to time.